to investment loss. The SEC is therefore proposing to specify the qualifications of cryptocurrency investors to ensure proper investor protection mechanism in consistent with the level of risk
company, (2) Be under the supervision of high-level management, (3) Have knowledge, ability and readiness to undertake the duty, and (4) Execute the duty by taking into consideration the benefits of
according to the Service Level Agreement; 3) Rectifying the work system for supporting the Business Continuity Plan to cover the case of trading interruption in consistent with the current business
SEC has prepared a questionnaire surveying preparedness toward the Personal Data Protection Act, B.E. 2562 in April 2020 for self-assessment of 276 organizations under its supervision. Based on the results, 192 firms responded, scoring 70% total preparedness in personal data protection.Business operators, who need to accelerate their preparedness for the Personal Data Protection Act, have been advised by SEC to accelerate the following, four main issues.(1) Considering appropriate legal b...
, for example, has changed significantly recently. Since last December, SEC has informed SET to monitor the trading activities of such shares closely to protect investors and prevent distortion of the
blocked from these platforms immediately to protect the public from further harm and loss. The Investment Scam Hotline initiative is part of the SEC’s continuing efforts as a participant in the
นางสาวรื่นวดี สุวรรณมงคล เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ (ก.ล.ต.) เข้าร่วมงาน "2021 UN Women WEPs Awards High-Level Dialogue: Envisioning the future for a more gender
of lawsuit filed and prosecuted by the plaintiff who collectively represents a group of people who suffer damage from the same causes and wish to exercise legal right to protect own rights. For more
The spread of COVID-19 pandemic since March 2020 has resulted in severe volatility in debt and equity markets around the world, and consequently stimulated investment outflows from mutual funds and affected the stability of the global financial system. Due to this circumstance, international regulators have decided to issue liquidity measures.Realizing the importance of liquidity risk management process of mutual funds, the SEC encourages asset management companies to strengthen the effic...
to the IT Standard Rules this time are summarized as follows: (1) Establishing IT-related risk assessment criteria to define the entity’s risk level and to specify standards of IT security controls